supervisory procedures
Tag Archive

August 3, 2011

Portfolio Advisors Alliance, Inc. fined by FINRA

Portfolio Advisors Alliance, Inc. (CRD #101680, New York, New York) and Marcelle

Read article

August 3, 2011

National Securities Corporation fined by FINRA

National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G.

Read article

June 3, 2011

D. Weckstein & Co., Inc. fined by FINRA

D. Weckstein & Co., Inc. (CRD #20338, New York, New York) recently submitted a

Read article

May 18, 2011

Domestic Securities, Inc. fined by FINRA

Domestic Securities, Inc. (CRD #34721, Montvale, New Jersey) recently submitted a

Read article

May 18, 2011

BNY Mellon Capital Markets, LLC fined by FINRA

BNY Mellon Capital Markets, LLC (CRD #17454, New York, New York) recently submitted

Read article

May 18, 2011

B.C. Ziegler and Company fined by FINRA

B.C. Ziegler and Company (CRD #61, Chicago, Illinois) submitted a Letter of

Read article

May 16, 2011

Robert W. Baird & Co. Incorporated fined by FINRA

Robert W. Baird & Co. Incorporated (CRD #8158, Milwaukee, Wisconsin) recently

Read article

May 16, 2011

Rafferty Capital Markets, LLC fined by FINRA

Rafferty Capital Markets, LLC (CRD #23682, Garden City, New York) recently submitted

Read article